Stinson Leonard Street Dodd Frank

MAKING SENSE OF DODD-FRANK

The Dodd-Frank Act has broad and deep implications that will touch every corner of financial services and multiple other industries. This site, developed and maintained by attorneys at Stinson Leonard Street, is dedicated to making sense of this complex legislation and helping businesses understand how it will affect them specifically. Our Bloggers »

Dodd-Frank Investment Advisers

SEC Charges Private Equity Advisor with Conflicts for Law Firm Discounts

enforcement

Investment Advisers, M&A, Private Equity In a settled enforcement action, the SEC charged a private equity advisor, First Reserve Management, L.P., with conflicts of interest and other matters. First Reserve did not admit or deny the SEC’s findings. The SEC noted First Reserve negotiated a legal fee discount from a law firm for itself for certain services based on the […] Read more →

by   |   September 15, 2016

Minnesota

Common Deficiencies Noted in Exams of Minnesota Registered Investment Advisers

Investment Advisers The Minnesota Department of Commerce recently conducted a series of routine exams of investment adviser firms registered in Minnesota to analyze their compliance with certain... Read more →

by   |   September 8, 2016

SEC logo

SEC Updates Form ADV

Investment Advisers, Private Equity The SEC has adopted final rules requiring investment advisers to provide additional information on Form ADV and other matters. You can find our analysis on the proposed rules... Read more →

by   |   August 25, 2016

enforcement

SEC Busts Apollo for Disclosure and Supervisory Failures

Investment Advisers, Litigation, M&A, Private Equity The SEC charged four private equity fund advisers affiliated with Apollo Global Management for misleading fund investors about fees and a loan agreement and failing to supervise a... Read more →

by   |   August 23, 2016